WORLD INTELLECTUAL PROPERTY ORGANIZATION
International Bureau
Project CE 455: Amendments to the Guidelines for revision
of the IPC and other basic IPC documents
Date: February 17, 2014
Rapporteur Report
Comments have been received from Japan (Annex 2, 3 and 7), Brazil (Annex 4, 9 and
10), Sweden (Annex 5) and EPO (Annex 6 and 8). Rapporteur would like to thank all proposals
and comments.
The following is a summary of these proposals and comments according to (A) Guidelines
for revision, (B) Guidelines for Drafting Classification Definitions and (C) IPC Revision Policy
and Procedure.
A. Guidelines for revision of the IPC
Annex 5 (SE) and Annex 9 (BR)
- Paragraphs 37, 37bis and 38:
SE proposal (Annex 5) in Red
37.
Limiting references should always be
presented both in the classification schemes
and in the Definitions. There are two types of
limiting references:
BR comments (Annex 9) in Blue
BR agree to SE proposal
– Scope-limitation references exclude
specified subject matter from the scope of a
classification place, which subject matter
would otherwise be covered by that place,
and indicate the place(s) where this subject
matter is classified.
– Precedence references are used when
subject matter is classifiable in two places, or
when different aspects of the subject matter
are classifiable in two places, and it is desired
that the subject matter should be classified in
only one of those places. A limiting reference
is a reference associated with a classification
place that excludes specified subject matter
from the scope of this classification place,
when this subject matter would otherwise be
covered by that place. Precedence
references are a type of limiting reference.
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37bis. Precedence references have different
functions depending on the relationship
between the affected places:
37bis. Precedence references are necessary
because of two reasons, depending on the
relationship between the affected places:
– A precedence reference to a place which
is a subset of the place where the reference
stands has the same function as a scopelimiting reference.
– Reason A: it is necessary to have a
precedence reference to a place which is a
subset of the place where the reference stands,
acting as a scope-limiting reference.
– A precedence reference to a place which
is not a subset of the place where the
reference stands serves as a classification
rule for combination-type subject matter.
– Reason B: it is necessary to have a
precedence reference to a place which is not a
subset of the place where the reference stands,
but acting as a classification rule for
combination-type subject matter.
(alternative)
– Reason B: it is necessary to have a
precedence reference acting as a classification
rule for combination-type subject matter.
Example:
10/00 Mechanical means
20/00 Hydraulic means
30/00 Chemical means
Hypothetic example:
10/00 Mechanical means (20/00 and 30/00
take precedence)
20/00 Hydraulic means
30/00 Chemical means
– A precedence reference from 10/00 to
20/00 would have exactly the same function
as a scope-limiting reference. Since
hydraulic means are a type of mechanical
means the reference would refer out a subset
of the matter covered by 10/00 and place it in
a different place.
– A The precedence reference from 10/00 to
20/00 would have exactly the same function as
idea of a scope-limiting reference. Since
hydraulic means are a type of mechanical
means, the reference to 20/00 would refer out a
subset of the matter covered by 10/00 and place
it in a different place.
– A precedence reference from 10/00 to
30/00 would not refer out chemical means per
se, since chemical means per se aren't
covered by 10/00. Therefore a normal
reference from 10/00 to 30/00 could only be
an informative reference. A precedence
reference from 10/00 to 30/00 would refer out
subject matter that would otherwise be
classified in both places, i.e. combinations of
mechanical means and chemical means. A
scope-limiting reference with the same
function as a precedence reference from
10/00 to 30/00 would have to be worded
"(mechanical means in combination with
chemical means 30/00)".
– AThe precedence reference from 10/00 to
30/00 would do not refer out chemical means
per se, since chemical means per se aren't
covered by 10/00. Therefore In principle, a
normal reference from 10/00 to 30/00 could only
be an informative reference. AThe precedence
reference from 10/00 to 30/00 would refers out
subject matter that would otherwise be classified
in both places, i.e. combinations of mechanical
means and chemical means. The precedence
reference to 30/00 is a shortcut to the liming
reference which could be worded as
"(mechanical means in combination with
chemical means 30/00)". A scope-limiting
reference with the same function as a
precedence reference from 10/00 to 30/00
would have to be worded "(mechanical means in
combination with chemical means 30/00)".
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38. Precedence references should only be
used between places in the same subclass.
As far as possible, normal scope-limiting
references should be used instead of
precedence references.
BR agrees to SE proposal
Paragraph 67 (new)
67.
Revision of the IPC should as far as possible make use of the experiences and solutions
of other existing classification schemes, such as CPCECLA, and FI and USPC.
Annex 3 (JP) and Annex 4 (BR)
- Paragraphs 122 to 125:
Indications, Transfers and Revision Concordance Data
JP proposal (Annex 3) in Red
BR comments (Annex 4) in Blue
122 When indicating the status of an entry
122 When indicating the status of an entry
during the working phase of a project, for
during the working phase of a project, for
example, when submitting a proposal, the
example, when submitting a proposal, the
following indications should be used:
following indications should be used:
- “N” for new entries;
- “N” for new entriesplaces;
- “C” for entries with modified file scope;
- “C” for entriesplaces with modified file
- "M" for groups or subclasses where
scope;
changes do not impact the file scope;
- "M" for groups or subclassesplaces
- “D” for deleted entries;
where changes do not impact the file
- "U" for entries that are unchanged, but
scope;
presented in order to show the
- “D” for deleted entriesplaces;
hierarchy of the scheme to simplify
- "U" for entriesplaces that are
understanding.
unchanged, but presented in order to
In case of “N” or “C”, the entry will get a
show the hierarchy of the scheme to
new version indicator.
simplify understanding.
In case of “N” or “C”, the entry will get a
new version indicator. Here, places could
be groups, subclasses or classes.
IB: The last proposed modification is
contradictory to paragraph 124.
123 For the purpose of establishing the
Revision Concordance List (RCL), the
rapporteurs appointed for the revision
projects concerned should, at the end of
each revision project, submit a proposal
indicating how subject matter will be
transferred between places in the IPC as
a result of the approved amendments.
This data should include the following:
123 For the purpose of establishing the
Revision Concordance List (RCL), the
rapporteurs appointed for the revision
projects concerned should, at the end of
each revision project, submit a proposal
indicating how subject matter will be
transferred between places in the IPC as
a result of the approved amendments.
This data, which includes places of type
“C” and “D” in paragraph 122, should
include the following:
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IB: RCL contains source groups (C and D)
and destination groups (N and C).
Therefore, the above interpretation is
not correct.
- for new places: an indication of the
source of the subject matter covered;
- for existing places whose scope has
changed: indication of the source of
subject matter added to the scope of
the place or the destination of subject
matter removed from the scope of the
place, when the place works as a
destination of subject matter, a transfer
from this place to the same place
should also be indicated;
IB: First, IB would propose to change
“whose scope has changed” to “whose
file scope has changed” (see paragraph
42 and 73 of the Guide).
IB understands that the modifications
above have been proposed in order to
reflect the real example (see RCL in
Annex 41 of project F013, A63B 51/02 to
A61B 51/02 concordance). Leave the
decisions to CE.
- for deleted places: an indication of the
destination of the original subject
matter.
- for new places (type “N”): an indication
of the source of the subject matter
covered;
- for existing places whose scope has
changed (type “C”): indication of the
source of subject matter added to the
scope of the place or the destination of
subject matter removed from the scope
of the place an indication of the
destination of the original subject
matter, which includes the source of
the subject matter plus new place(s).
Even if the current place works as the
destination place only, a transfer from
this place to the same place should
also be indicated;
- for deleted places (type “D”): an
indication of the destination of the
original subject matter.
124 Entries in the RCL referring to entire
classes or subclasses should be avoided.
124 Entries iIn the RCL, places referring to
entire classes or subclasses should be
avoided.; rather individual groups should
be referred.
125 The inclusion of a group as the source of
the subject matter in the RCL indicates
that documents classified in that group
only, excluding its subgroups, should be
reclassified. When subject matter of
several consecutive groups is transferred
to one and the same place, the first and
the last groups transferred should always
be indicated, even when the last group is
a subgroup of the first.
BR agrees to JP proposal
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Annex 6 (EP)
- Appendix I, §§ 4(a)-4(b):
4.
Notes stating general priority rules (referred to under 1(e)(ii) and 1(e)(iii), above) should
be presented as follows:
(a) First place priority rule:
“In this subclass / main group(s) / group(s), the first place priority rule is applied, i.e. at each
hierarchical level, in the absence of an indication to the contrary, classification is made in the
first appropriate place.”
(b) Last place priority rule:
“In this subclass / main group(s) / group(s), the last place priority rule is applied, i.e. at each
hierarchical level, in the absence of an indication to the contrary, classification is made in the
last appropriate place.”
B. Guidelines for Drafting Classification Definitions
Annex 2 (JP)
- “Definition Statement”:
--Numbers on graphics should be avoided. However, if graphics are taken from a patent
document, numbers should be removed only if this is a straightforward task and the patent
document should be identified. Attention should be also given to the clarity of the graphics.
Annex 8 (EP)
- “Relationships between large subject matter areas” and “Special rules of classification within
this subclass”:
RELATIONSHIPS BETWEEN CLASSIFICATION PLACESLARGE SUBJECT MATTER
AREAS (e.g., SPECIAL CLASSIFICATION GUIDANCE RELATING TO
SUBCLASSES/GROUPS RULES OF CLASSIFICATION BETWEEN SUBCLASSES)
When the scope of the subclass is generally affected by its relationships with other places, and
those relationships cannot entirely be expressed in the form of references large subject matter
areas (e.g., other subclasses), then those relationships are stated here.
This section includes special rules of classification or guidance for defining the classification
practice between subclasses different classification places, e.g. availability and usage of
indexing subclasses or groups, multiple classification in two subclasses, relationships between
a residual subclass and other related subclasses, relationships between general (function
oriented) and application oriented places, relationships between a residual place and other
related places.
When the special rules of classification or guidance for defining the classification practice apply
only within a subclass/group, then the specific section SPECIAL RULES OF CLASSIFICATION
WITHIN THIS SUBCLASS/GROUP should be used instead.
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This section also includes more detailed explanation about the particular application of notes in
certain technical areas, where, in the IPC scheme, only the standardized wording of notes
explaining the classification rules is presented.
This section should only explain relationships that cannot be expressed in the form of
references. The term “see …” is imprecise and should not be used. The text should not
mention “the relevant subclass” without a list of examples.
Where the relationship between classification places large subject matter areas is characterised
by having a classification place(s) which is considered to be a limiting reference as well as an
informative reference, this section should be used to explain the nature of this relationship to
minimize any confusion when the specific reference sections of the definition do not fully clarify
the relationship.
Graphics may be used where needed.
SPECIAL RULES OF CLASSIFICATION WITHIN THIS SUBCLASS/GROUP
This section contains special classification rules, which apply only within the subclass/group and
not between subclasses/groups. Examples of such classification rules are the last place or first
place priority rules. Normal precedence rules are not considered as special, and therefore
should not be listed here.
Special classification rules, which affect only one main group within a subclass, are stated in the
corresponding section of the definition of that particular main group.
Numbering of paragraphs should be avoided. Subheadings are allowed.
Annex 10 (BR)
It is our opinion that both content could be merged, yielding one section only. If there are IT
issues for erasing one section, it could be just left empty.
C. IPC REVISION POLICY AND PROCEDURE
Annex 7 (JP on behalf of IP5 Offices)
- Paragraphs 15-17:
15.
The cooperation on classification Common Hybrid Classification project was initiated by
the IP5 Offices Five IP Offices (EPO, JPO, KIPO, SIPO and USPTO) to eliminate unnecessary
duplication of work, to improve international searching efficiency, to utilize the strengths of
existing internal classification systems to enhance the IPC and to enhance patent examination
efficiency and quality. The CE recognizes that the activities of the IP5 Offices Common Hybrid
Classification project will be the driving force behind the IPC revision in the years to come.
16.
In view of the importance of the harmonization process of the internal classification
systems of the IP5 Offices Five IP Offices through in the development of the IPC, any project
resulting from the harmonization process of the internal classification systems of the IP5 Offices
Five IP Offices (including Trilateral Harmony projects) will be forwarded to the IB for automatic
inclusion in the IPC revision program as having met the criteria set forth in paragraphs 9
through 13. The IB will immediately create an A (Trilateral) or F (Five IP Offices) project on the
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IPC electronic forum for consideration by the IPC Revision Working Group (WG). These
projects will be treated with priority. Such projects will be considered during their IPC phase in
order to check their compliance with IPC rules and to ensure the clarity and common
international understanding of their content. Amendments to the submitted proposals that would
require additional reclassification in respect to the original proposal should be considered only in
exceptional cases, with good reasons and with the approval of the project originating office.
17.
Additionally revision requests may be submitted by any other member or observer of the
IPC Union. These requests should be evaluated by the CE to ensure that they comply with the
revision policy and the revision criteria established by the CE and described in this document,
determine the need for them and their priority. They should be submitted to the IPC e-forum at
least three months before consideration for inclusion in the revision program by the CE. It
should be noted that any new proposed scheme should take into account the local classification
systems, in particular those of the IP5 Offices Five IP Offices, in order to minimize the resources
required for reclassification. Offices, in particular those having increased reclassification tasks,
should comment on their ability to reclassify their documents for a proposed request prior to
discussion at the CE.
[End]
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